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Tag: FINRA auction rate securities investigation

Blog, Securities Fraud

SunTrust fined over auction rate securities

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined SunTrust Robinson Humphrey, Inc. (SunTrust RH) and...

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Blog, Securities Fraud

FINRA Fines Jefferies & Company Over Auction Rate Securities

The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined Jefferies & Company, Inc. $1.5 million for...

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